NASD Regulation, Inc. has announced that it has issued a complaint charging US Rica Financial, Inc. San Jose, CA and its president and owner, Vinh Huu Nguyen with misrepresenting to its customers, on its Web Site and on trade confirmations, the amounts that the firm was charging customers for online trades. The charges enumerate US Rica/Nguyen’s transgressions: violation of NASD’s advertising rule; engaging in fraudulent conduct; issuing false and misleading confirmations; and failure to ma
Anthony and James delve into how the systematic internalizer regime is shaping up, and then examine the regtech sector.Subscribe to Weekly Wrap emails
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